State Bank of India Local Head Office, 11, Sansad Marg, New Delhi-110001

PUBLIC NOTICE EMPANELMENT OF STOCK & RECEIVABLE AUDITORS

State Bank of India, Local Head Office, Delhi invites applications for empanelment of Stock & Receivable Auditors.

Eligibility criteria, general guidelines, Bio-data format/application form etc is placed on our Bank’s website www.sbi.co.in in “Empanelment of Vendors” under “Procurement news” section.

Interested persons/firms/companies/establishments may submit their applications in the prescribed format annexed as Annexure II along with relevant enclosures/documents etc. to the Dy. General Manager & CCO, State Bank of India, 9th Floor, Local Head office, 11 Sansad Marg, New Delhi- 110001, latest by 05.11.2020. The Stock & Receivable Auditors already in the Bank’s panel have to apply afresh.

The bank reserves the right to amend/modify any terms and conditions of empanelment and withdraw the advertisement without any notice.

ANNEXURE-I STATE BANK OF INDIA LOCAL HEAD OFFICE, NEW-DELHI-110001 CRITERIA AND TERMS & CONDITIONS FOR EMPANELMENT OF STOCK AND RECEIVABLE AUDITORs (SRAs) Eligibility Criteria: i) The Auditors to be from Companies, Firms, Limited Liability Partnership (LLP) of Chartered Accountants / Cost Accountants registered with Institute of Chartered Accountants of India / Cost Accountants of India. Proprietorship Firms shall also be considered for empanelment as SRA. The Auditors should fulfil the following criteria:

a) Should have at least two qualified Chartered Accountants/Cost Accountants as Partners / Directors in case of Companies, Firms and LLP.

b) The Proprietor or at least one Partner / Director of the Firm / LLP / Company should have minimum 5 years experience.

c) Preference to entities having personnel with engineering background to assist in conducting the stock and receivable audit.

d) Preference also to those already empanelled with other Banks/FIs as Stock and Receivable Auditors.

e) Those who are already empanelled with us/other Banks/FIs and having a good track record of handling the assignments to be given preference.

ii) The applicant shall have integrity and character beyond reproach. Unblemished track record, with no unsatisfactory conduct in the past and should have not been blacklisted by any Bank / financial institution / other organisations/any government department, no listing in default / caution /debarment list of RBI / IBA / SEBI / their professional institutes etc.

iii) Having branches/offices in the geographical area of Delhi circle of SBI i.e State of Delhi,Uttarakhand and the following districts of Uttar Pradesh and Haryana. AGRA,ALIGARH,ETAH,FIROZABAD,HATHRAS,MAINPURI,MATHURA,BAGHPAT, BULANDSHAHR,GAUTAM BUDH NAGAR, GHAZIABAD,MEERUT,MUZAFFARNAGAR, SAHARANPUR, ROORKEE, GURUGRAM, SONEPAT, FARIDABAD, MEWAT, PALWAL iv)The name of the Companies /Firms/LLP or its director/promoter/partner etc. should not be in the defaulters/barred/caution list published/displayed at websites of public bodies such as by RBI/IBA/ECGC/SEBI/CICs/NCLT etc. Other Terms & Conditions: i) Application in the prescribed format should be submitted on or before 05.11.2020.

ii) Documents/Enclosures as mentioned in Annexure-II to be submitted duly self-attested.

iii) PAN Number and GST Registration Number (as applicable) are also mandatory.

iv) In the event of gross negligence/malpractices,if any,noticed by the Bank in SRA’s conduct/scope of work, apart from depanelling the Firm / LLP / Company, the Bank reserves the right to include their names in the cautionary list for circulation to all the Banks through IBA.

v) Bank reserves the right to reject any or all applications for empanelment without assigning any reasons thereof.

vi) Auditors against whom complaints have been registered with CBI, Serious Fraud Investigation Cell and court(s)/regulatory bodies, and is blacklisted by any banks/FIs is not eligible to apply.

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On the Firm’s/ Company’s letter head

Application for Empanelment as Stock and Receivable Auditor (SRA) To, Deputy General Manager & CCO State Bank of India, Local Head Office 9th floor, 11, Parliament Street, New Delhi-110001

Sub. Request for empanelment as Stock and Receivable Auditor on SBI Panel

I/ We hereby apply for empanelment as Stock and Receivable Auditor and furnish hereunder the requisite bio data/information /documents for empanelment.

Sr.

No.

Particular Details

1 Name of the Firm/company

2 Constitution (proprietorship / partnership /

LLP/Company)

3 Constitution Certificate No./ICAI Registration No/

Institute of Cost Accountant of India Reg No.

4 Date of Establishment of firm

5 RBI Unique Code & Category

6 Date of RBI Unique Code

7 Registered/Communication address of the firm

/company

8 Details of the Offices/Branches of the firm/company

in the Delhi, Uttarakhand and following districts of UP

& Haryana: Agra, Aligarh, Etah, Firozabad, Hathras,

Mainpuri, Mathura, Baghpat, Bulandshahr, Gautam

Budh Nagar, Ghaziabad, Meerut, Muzaffarnagar,

Saharanpur, Roorkee, Gurugram, Sonipat,

Faridabad, Mewat, Palwal

9 Contact No

Mobile No

Land line No

Email id

10 PAN No

11 GST No.

12 Nature of present activity of the firm/company

13 Details about the Firm/company

A Brief Profile of the Firm/ Company

B Detail of Proprietor or at least one Partner / Director

of the Firm / LLP / Company having minimum 5 years

of experience

C Whether the firm/ Company have any personnel with

engineering background to assist in conducting the

stock and receivable audit. If yes, details including

qualification, post qualification work experience

(details and number of years)

D Details of Proprietor/ all Partners/ all Directors

Name Designation Age Residential

Address

Mobile

No.

Email

id

Qualification Post

Qualification

Work

experience

(in years)

Details of

Work

experience

14 Particular of the current empanelment as Stock & Receivable Auditor with other Banks/Financial

Institutions

(Copy of empanelment letters to be enclosed)

A Name of the Banks Empanelment since Valid Upto

1.

2.

3.

B Details of past experience as Stock & Receivable Auditors in last 2 years

(Details to be furnished in the following format)

Bank Branch Email id of

the Branch

Client

Name

Exposure of the client

(FB & NFB separately)

Nature of

Task

Handled

Date of

completion of

assignment

Supporting letters for assignments/term of reference needs to be attached.

C Furnish the details if the firm or any of the qualified

Partner/Director have been de-paneled by any Bank

/FI/Organization in the Past

D Furnish the details if appointed as Statutory Auditors

for any Bank

Please attach self-certified photocopies of the following enclosures:

Copy of Constitution Certificate /ICAI Registration of Firm/ Institute of Cost Accountant of India Reg No.

Copy of Partnership deed (in case of a firm)/ CIN, MOA and AOA (in case of a Company)

Copy of address proof (for addresses mentioned in s. no. 7 & 8)

Copy of Pan Card, GST reg No

Brief Profile of the Firm/ Company

Documents for Sl. No. 13 (C) & (D) including PAN Card, address proof and other documents supporting

qualification and post qualification work experience.

Copy of Empanelment Letters of Banks as Stock & Receivable Auditors (14-A)

If already empaneled with SBI as SRA (copy of empanelment letter to be attached)

Summary of Assignments of Stock & Receivable Audit (14-B) (Copy of Letters for Assignments/Work

Order/Appointment Letters to be attached)

Copy of IT Return of Last 3 Years

I/ We solemnly declare that:

I/ We are not statutory auditor of SBI or neither under cooling period and eligible to conduct stock Audit

for the years 2020-2023.

I/ We have an unblemished track record (no history of blacklisting by any bank / FI, no listing in default /

caution /debarment list of RBI / IBA / SEBI / their professional institutes etc.). I/ We declare that my /our

name does not appear in the IBA Caution List. I/ We further confirm that in case of any such blacklisting/

depanelment, I shall inform you within 3 days of such action.

I/ We have not been removed/ dismissed from service/ employment earlier.

I/ We have not been convicted of any offence and sentenced to a term of imprisonment.

I/ We have not been found guilty of misconduct in professional capacity.

I/ We have not been declared to be of unsound mind.

I/ We have not been an undischarged bankrupt or has not applied to be adjudicated as a bankrupt.

I/ We solemnly declare that I will not undertake Stock & receivable audit of any firm/ Company in which I

have a direct or indirect interest.

I/We do not have any objection in Bank contacting external agencies/FIs for verification of the

data/information/papers furnished by us.

I / We solemnly declare that the above information furnished /submitted by me/us is complete and entirely

true, and nothing has been concealed. I/we understand that any discrepancy / wrong information would

lead to cancellation / de-empanelment as Stock & Receivable Auditor with immediate effect. I / We affirm

that terms and conditions of State Bank of India relating to empanelment as Stock & Receivable Auditor

are/will be acceptable to us.

I/We agree that the Bank’s decision regarding selection / rejection for empanelment will be final and

binding and no further correspondence will be entertained by the Bank in this regard.

I/We further agree that my/our Empanelment with the Bank would not amount to any commitment by the

Bank to provide any professional assignment to me/us.

I/we hereby confirm that all the necessary supporting documents are enclosed with the application.

On the Behalf of the firm and to be signed by Proprietor (in case of proprietorship firm), all partners (in case of

partnership firm & LLPs), all directors (in case of Company)

Name of the firm:

Date:

Place:

Signature Name & designation

Signature Name & designation

Signature Name & designation

Signature Name & designation

Signature Name & designation

Signature Name & designation

Self attested photographs of Proprietor (in case of proprietorship firm), all partners (in case of partnership firm

& LLPs), all directors (in case of Company)

Name :

Name :

Name :

Name :

Name :

Name :